Manager Supervisor

david hentschel

Email: *********@********.***

Address: **** ***** ** **

City: brooklyn

State: NY

Zip: 11209

Country: USA

Phone: 646-***-****

Skill Level: Management

Salary Range: $80,000

Primary Skills/Experience:

See Resume

Educational Background:

See Resume

Job History / Details:

DAVID S. HENTSCHEL

9269 Shore Road Apt. F5 x Brooklyn, New York 11209 x 646-***-**** *********@********.***

SUMMARY OF QUALIFICATIONS:

x Over 14 years of experience in the finance industry.

x Compliance officer and supervisor who oversees daily operations for NYSE member firm.

x Extensive knowledge and experience in all trade support functions

(OATS reporting, clearing arrangements, and OMS connectivity).

x Strong customer communication skills.

x Able to coordinate projects and meet deadlines under pressure.

x Enthusiastic, creative, and willing to assume increased responsibility.

x Series 24, 7, and 63 Licenses.

EXPERIENCE:

Illustro Trading, LLC. New York, New York Supervisor/compliance officer January 2009 to Present x Supervisor and manager of 22 registered and non-registered representatives.

x Ensure compliance with FINRA/SEC Rules and Regulations.

x Keep organization updated with changes in the applicable regulations, standards, and procedures.

x Handle order flow, trade management, and best execution of firm's orders.

x Set up clearing arrangements for hedge funds and institutional clients.

x Monitor OATS reporting and reconcile discrepancies.

x Establish OMS connectivity for clients.

x Train personnel in desk procedures.

x Calculate the S&P 500's closing monetary amount using NYSE imbalances before they are publicly released (microsoft excel/macro enabled spreadsheet).

HLA Securities New York, New York Head Clerk/Registered Representative January 2000 to December 2008 x Managed 10 employees to make sure all rules and regulations were followed.

x Handled and supervised firm's orders and executions.

x Leveraged extensive personal network of contacts to maximize order flow and commission revenue.

x Opened customer accounts (Buyside/Sellside).

x Reconciled trade discrepancies.

x Calculated average prices and recapped trades with customers.

x Supervised and directed activities to ensure that operational objectives were achieved.

DAVID S. HENTSCHEL Page 2

Griswold Company New York, New York Trading Clerk July 1998 to December 1999 x Assisted traders with order flow management.

x Obtained pre-opening and closing prices, provided institutional customers with market imbalances.

x Calculated average prices for all customer orders.

x Confirmed trades with customers, researched and resolved discrepancies.

x Planned, coordinated, and provided operational support for Senior executives.

EDUCATION:

Suffolk Community College Selden, New York

Associate Degree May 1995

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